RBC ROCHDALE, LLC ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 117198
- Firm name
- RBC ROCHDALE, LLC
- Other names / DBAs
- CITY NATIONAL ROCHDALE; ROCHDALE INVESTMENT MANAGEMENT LLC; ROCHDALE INVESTMENT MANAGEMENT; RBC ROCHDALE, LLC; RBC ROCHDALE; CITY NATIONAL ROCHDALE, LLC
- IA scope
- ACTIVE
- SEC IA file
- 801-27265
- Branches
- 151
- Disclosure events
- YES
- HQ
- NEW YORK, NY, 10022, United States
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